Following are various resources for our clients that may assist them in the execution of their Regulation D Offering:
Financial Industry Regulatory Authority “FINRA”
FINRA is the largest independent securities regulator in the U.S.
U.S. Securities & Exchange Commission
The Securities and Exchange Commission regulates securities sales in the United States. The Regulation D Programs are SEC programs designed for small business. The SEC website contains a wealth of information on securities sales and the different types of private and public offerings that are available to companies.
National Association of Securities Administrators Association
The NASAA is another association related to the securities industry. You can use their directory to find brokerages and to get information on brokerages and individual stockbrokers.